NORTHERN CALIFORNIA

EMERGENCY MEDICAL SERVICES

CONTINUITY OF OPERATIONS PLAN

(COOP)

** DOCUMENT CLASSIFICATION NOTICE **

The information in this document, while not confidential, is sensitive in nature. Therefore, it may

not be distributed to or discussed with anyone outside of Nor-Cal EMS without the authorization of

Nor-Cal EMS or any individual authorized to grant permission on his or her behalf. Functional plans

that outline specific emergency response operations and procedures are exempt from public

disclosure in accordance with ORS 192.501.

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NORHTERN CALIFORNIA EMERGENCY MEDICAL SERVICES

CONTINUITY OF OPERATIONS PLAN

APPROVALS

This Continuity of Operations Plan (COOP) was prepared by Nor-Cal EMS to develop, implement and maintain a viable COOP capability. This COOP complies with applicable internal agency policies, state and local regulations and supports recommendations provided by the Federal Emergency Management Agency. This COOP has been distributed internally within Nor-Cal EMS and with external agencies that may be affected by its implementation.

Approved: ____________________________ Date ____________ CEO Dan Spiess Approved: ____________________________ Date ____________ Board Chair Denny Bungarz Approved: ____________________________ Date ____________ Medical Director Dr. Eric M. Rudnick

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NORHTERN CALIFORNIA EMERGENCY MEDICAL SERVICES

CONTINUITY OF OPERATIONS PLAN

TABLE OF CONTENTS Page

1. EXECUTIVE SUMMARY 5 2. INTRODUCTION 1

A. Purpose 6 B. Applicability and Scope 7 C. Policy 7 D. Objectives 7 E. Assumptions 8

3. AUTHORITIES AND REFERENCES 9 A. Authorities 9 B. References 9 4. CRITICAL BUSINESS FUNCTIONS 10 5. CONCEPT OF OPERATIONS (CONOPS) 10

A. Planning Scenarios 10 B. COOP Execution 12 C. COOP Team 12 D. Time-phased COOP Implementation 12 Phase 1 – Activation and Relocation 13 Phase 2 – Alternate Operations 14 Phase 3 – Reconstitution 15 E. Notification and Alert 15 F. Delegation of Authority and Orders of Succession 15

6. RESPONSIBILITIES AND PROCEDURES 16 A. Responsibilities 16 B. Procedures 17 7. ADMINISTRATION AND LOGISTICS 19 A. Alternate Facility 19

B. Vital Records, Equipment and Systems 19 C. Interoperable Communications 19 D. Resource Management 19 E. Employee Support 20

8. COOP MAINTENANCE 20 9. COOP CERTIFICATION 20

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APPENDICES Glossary 21 Form A. COOP Response Team 25 Form B. Prioritized Listing of Essential Functions 26 Form C. Personnel Contact List (Rapid Recall List) 27 Form D. Delegation of Authority 28 Form E. Orders of Succession 29

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NORHTERN CALIFORNIA EMERGENCY MEDICAL SERVICES

CONTINUITY OF OPERATIONS PLAN

1. EXECUTIVE SUMMARY

The mission of Northern California Emergency Medical Services (Nor Cal EMS) is to provide

leadership and excellence in emergency medical services in partnership with our

community. Nor-Cal EMS is to be prepared, to the greatest extent possible, to support our

partner counties in all-hazard disasters and unusual events. Northern California EMS has

become increasingly aware of events that could interrupt or potentially destroy its ability to

effectively perform essential functions in the current location. Nor-Cal EMS determined that

it should develop and maintain a Continuity of Operations (COOP) Plan. COOP planning is

designed to develop and maintain a program that preserves, maintains and reconstitutes

Nor-Cal EMS ability to function effectively in real or potential events.

The Nor-Cal EMS COOP Plan includes a Concept of Operations that details three distinct

phases of a COOP event.

• Phase I is the recognition of a COOP event and the activation of the plan. This

activation may include relocation of staff and resources in order to accomplish those

tasks determined to be mission essential.

• Phase II of the COOP Plan provides for the ongoing provision of mission essential

functions until the COOP event is complete.

• Phase III is the reconstitution phase that allows Nor-Cal EMS to return to normal

operations in a systematic manner.

Each phase in the plan is supported through a rigorous and detailed analysis of the

operational requirements to execute that phase. The COOP Plan also includes supporting

appendices that provide operational checklists, communication protocols, decision matrices,

and alternate facility details.

The COOP Plan ensures the continuation of the mission essential functions and the ability

to keep Nor-Cal EMS operational at any location. The objectives of this plan are to allow

Nor-Cal EMS to provide support to our partner counties by reducing disruption of operations;

protecting essential equipment, records, and other assets; minimizing damage; providing

organizational and operational stability; facilitating decision making during an emergency;

and achieving an orderly recovery. While there many other important functions that Nor-Cal

EMS performs, this plan only covers those that are mission and time critical.

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2. INTRODUCTION

Nor-Cal EMS has essential functions that must be performed, or rapidly and efficiently resumed, in an emergency. While the impact of an emergency cannot be predicted, planning for operations under such conditions can mitigate the impact of the emergency on our people, our facilities and our mission. To that end, Nor-Cal EMS has prepared a Continuity of Operations Plan (COOP). This COOP establishes policy and guidance to ensure the execution of the essential functions for Nor-Cal EMS in the event that an emergency at the agency or in its service area threatens or incapacitates operations, and/or requires the relocation of selected personnel and functions. COOP planning is a good business practice and is part of the fundamental mission of all agencies as responsible and reliable public\private agencies. The changing threat environment and recent emergencies have shifted awareness to the need for COOP capabilities that enable agencies to continue their essential functions across a broad spectrum of emergencies.

A. Purpose

The capability to prepare for, respond to and recover from emergencies affecting Nor-Cal EMS’s operations is dependent upon the proficiency and well being of its employees and the clarity of its leadership. To ensure the capability to support employees and contractors, system users, emergency responders, local and regional emergency management agencies, and the general public during emergencies, Nor-Cal EMS has adopted this COOP.

This COOP describes how Nor-Cal EMS will sustain the capability to perform essential functions during and after a disruption in internal operations whether caused by severe weather, other natural or man-made disasters, or malevolent attack. This COOP ensures that Nor-Cal EMS:

• has the capability to implement the COOP both with and without warning;

• is able to perform essential functions no later than 12 hours after activation of the COOP;

• is able to maintain essential functions for up to 30 days (90 days in a pandemic influenza scenario);

• conducts regularly scheduled testing, training and exercising of agency personnel, equipment, systems, processes and procedures used to support the agency during a COOP event;

• provides for a regular risk analysis of current alternate operating facilities;

• plans the location of alternate facilities in areas where the ability to initiate, maintain and terminate continuity operations is maximized;

• develops standard operating procedures which enable the performance of essential functions; and

• promotes the development, maintenance and annual review of agency COOP capabilities.

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This COOP supports the performance of essential functions from alternate (continuity) locations (due to the primary facility becoming unusable for long or short periods of time) and also provides for continuity of management and decision-making, in the event that senior management or technical personnel are unavailable, inaccessible, or lost to the organization.

B. Applicability and Scope

The COOP is applicable to Nor-Cal EMS partners and personnel. This COOP describes the actions that shall be taken to activate a viable COOP capability within 12 hours of an emergency event, and to sustain that capability for up to 30 days. The COOP can be activated during business and non-business hours, both with and without warning. The COOP covers all facilities, systems, and buildings operated or maintained by Nor-Cal EMS. The COOP supports the performance of essential functions from an alternate (continuity) location(s) (due to the primary facility becoming unusable for long or short periods of time) and also provides for continuity of management and decision-making, in the event that senior management or technical personnel are unavailable.

The COOP has been distributed to senior managers and board members within Nor-Cal EMS. Training has been provided to Nor-Cal EMS’s personnel with identified responsibilities, and the COOP has been shared with all appropriate partners.

C. Policy

It is the policy of Nor-Cal EMS to respond quickly at all levels in the event of an emergency or threat in order to continue essential functions and operations, and to provide support to the citizens of our six partner counties, other customers of Nor-Cal EMS, emergency management and response agencies, and other agencies or services that may be affected by the emergency. A viable COOP capability identifies essential functions and consists of plans and procedures, alternate facilities, and interoperable communications and data support systems, reinforced by comprehensive training, orientation, and exercise programs. COOP capabilities must be maintained at a high level of readiness, capable of being activated both with and without warning, ready to achieve operational status no later than 12 hours after activation, and able to maintain sustained operations for up to 30 days (90 days in a pan flu scenario) or until termination.

D. Objectives

The objectives of this plan are to:

• ensure the continuation of essential functions;

• ensure the safety of employees;

• maintain command, control and direction during emergencies;

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• reduce disruptions to operations;

• protect critical facilities, equipment, records, and other assets;

• assess and minimize damages and losses;

• provide organizational and operational stability;

• facilitate decision-making during an emergency;

• achieve an orderly recovery from emergency operations;

• assist affected employees and their families;

• provide for the line of succession to critical management, clinical and technical positions;

• provide resources and capabilities to develop plans for restoring or reconstituting regular activities, depending upon the scope, severity, and nature of the incident; and

• fulfill the agency’s responsibilities in local, regional and state emergency operations plans and agreements.

E. Assumptions

The following assumptions are made in considering continuity of operations planning by Nor-Cal EMS include:

• During business hours, a building will be evacuated in accordance with the facility evacuation plan.

• Upon declaration of COOP activation by senior leadership, employees will be instructed about their responsibilities under the activation and relocation phases of the COOP.

• Emergencies or threatened emergencies can adversely impact the agency’s ability to continue to support essential functions and to provide support to the operations of clients and external agencies.

• Appropriate resources and funding shall be available for the planning, implementation and maintenance of the COOP program. Required resources shall be dedicated in a timely fashion following activation of the COOP.

• When a COOP event is declared, the agency shall implement a predetermined plan using trained and equipped personnel.

• Agency and non-agency personnel and resources located outside the area affected by the emergency or threat shall be available as necessary to continue essential functions.

• The agency shall provide operational capability within 12 hours of the event and be able to continue essential operations for 30 days, or until termination of the event, whichever is earlier. Pandemic influenza scenarios require the ability to continue essential functions for up to 90 days.

• Normally available staff members may be rendered unavailable by a disaster or its aftermath, or may be otherwise unable to participate in the recovery.

• Procedures are sufficiently detailed enabling another individual, other than the person primarily responsible for the work, to follow them.

• Recovery of a critical subset of the agency’s functions and application systems shall occur to allow the agency to continue essential functions adequately.

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• A disaster may require agency users, clients and local agencies to function with limited automated support and some degradation of service until full recovery is made.

• In compliance with the National Incident Management System (NIMS), and Homeland Security Presidential Directive (HSPD) - 5, all COOP program activities shall incorporate the principles of NIMS and the Incident Command System (ICS).

3. AUTHORITIES AND REFERENCES

A. Authorities The COOP has been developed with the full endorsement of the Nor-Cal EMS CEO and Board of Directors. The COOP complies with the following state regulations and Executive Order(s)

Continuity Assistance Tool (CAT), July 2009. Continuity Guidance Circular 1 for Non-Federal Entities (CGC-1), FEMA, January 21, 2009. Continuity Guidance Circular 2, Continuity Guidance for Non-Federal Entities: Mission Essential Functions Identification Process (CGC 2), FEMA, July 22, 2010. Federal Continuity Directive (1), (FCD-1), February 2008. Federal Continuity Directive (2) (FCD-2) February 2008. Federal Preparedness Circular-65 (FPC-65), June 2004. National Security Presidential Directive 51/Homeland Security Presidential Directive 20, National Continuity Policy, (NSPC-51/HSPD-20), May 2007.

B. References

References used to develop this template include:

• Continuity of Operations Plan (COOP) Template, Federal Emergency Management Agency

• Continuity of Operations Plan (COOP) Template Instructions, Federal Emergency Management Agency

• Guidance on Continuity of Operations Planning for State, Local, Tribal, Territorial and Private Sector Organizations, (FEMA), draft, August 2007

• The State of Oregon Continuity of Operations Planning Manual, February, 2011

• The State of Oregon Continuity of Operations Plan (COOP) Template, February, 2011

Other references that have supported the development of this COOP include the following:

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• Homeland Security Presidential Directive (HSPD) 20, National Security Presidential Directive (NSPD) 51: National Continuity Policy

• Nor-Cal EMS Emergency Operations Plan (EOP)

• California Emergency Operations Manual (EOM)

Though not required, the COOP addresses elements identified in the Federal Emergency Management Agency, Federal Continuity Directive 1. The updated FCDs and other related FEMA documents can be found at:

http://www.fema.gov/government/coop/index.shtm

4. ESSENTIAL BUSINESS FUNCTIONS

When confronting events which disrupt normal operations, Nor-Cal EMS is committed to ensuring that essential business functions will be continued even under the most challenging emergency circumstances. Nor-Cal EMS has identified as essential only those priority business functions that are required by statute, regulation or executive order, or are otherwise necessary to provide vital services, exercise civil authority, maintain the safety and well being of the general populace, or to sustain critical support to the citizens of the Nor-Cal EMS partner counties. During activation of this COOP, all other activities may be suspended to enable the agency to concentrate on providing the essential functions and building the internal capabilities necessary to increase and eventually restore operations. Appropriate communications with regular or expected users of services provided by those suspended services shall be a priority. Nor-Cal EMS has identified and prioritized essential business functions in Form B, Prioritized Listing of Essential Functions, in the Appendix. Essential business functions and their supporting critical processes and services, support personnel, and resources shall be reviewed and updated on an as-needed basis or, at minimum, on an annual basis if there are no major programmatic or customer-based changes within the organization.

5. CONCEPT OF OPERATIONS (CONOPS)

To implement the COOP, the agency has developed a Concept of Operations (CONOPS), which describes its approach to implementing the COOP, and how each COOP element shall be addressed. In particular, this CONOPS focuses on establishing emergency decision-making authority and defining a decision process for determining appropriate actions in implementing COOPs and procedures. This concept of operations also identifies the different classes of threat or hazard for which the plan is devised. Finally, the CONOPS identifies how the agency shall address issues associated with notification and alert, and command and control. A. Planning Scenarios

The COOP has been developed taking into account three separate “classes” of threats that may result in COOP activation. For each class, activities have been

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identified to ensure the activation of the COOP and the continuous capability of Nor-Cal EMS to make decisions and take action. Activation of the COOP may involve:

• the deliberate and pre-planned movement of selected key personnel and technical personnel to an alternate operating facility;

• the implementation of temporary work procedures;

• the delegation of emergency authorities to successors of senior management and technical personnel due to them being unavailable during the emergency; and/or

• the assignment of COOP teams to perform specific activities necessary to ensure essential functions.

The following three threat scenarios have been identified as incidents likely to trigger COOP activation:

•••• Class 1 Scenario: Single Building/Agency: In this scenario, a portion or all of the agency’s operations are disrupted at the primary location, with limited displacement of operations to alternate facilities. There is limited impact on interdependencies between the agency and other operations including customers, vendors and suppliers, and the event is most likely of a short to medium-term duration. The most likely causes of such a disruption are fire; system/mechanical failure; loss of utilities such as electricity, telephone, water, or steam; or explosion (regardless of cause) that produces no significant damage to any other facilities or systems used by the agency.

•••• Class 2 Scenario: Catastrophic Event: This scenario assumes that an incident affects a geographic. This scenario also assumes the disruption of operations to a number of agencies, leading to a massive and widespread displacement of the workforce and a disruption to multiple interdependencies between and among agencies, as well as those with customers and critical suppliers. Disruption of normal business operations is assumed to be for an extended period of time.

•••• Class 3 Scenario: Pandemic Influenza/Infectious outbreak: This scenario assumes that

there is a pandemic-related disruption of the workforce that is indiscriminate as far as

impact, and that infrastructure is affected only to the extent that systems require

maintenance and/or operation by a severely depleted workforce. Operations from an

alternate (continuity) location will probably not be required. A pandemic event will most

likely last for 12-18 months with as many as three waves of new infections lasting 4-6 weeks

each. Continuous essential function evaluation may be required. For instance, a function

that may not be critical the first 3 months will become critical the 4th

month.

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B. COOP Execution

The Nor-Cal EMS CEO, or his or her designated successor, may implement this COOP. The COOP is implemented based on known or anticipated threats and emergencies that may occur with or without warning. The Nor-Cal EMS EOP\Hazard Mitigation Plan, maintained by Nor-Cal EMS, will help to understand these threats and to identify mitigation strategies:

• Known Threats And Emergencies (With Warning): There are some threats to operations that may afford advance warning that shall permit the orderly alert, notification, evacuation, and if necessary, the relocation of employees. Situations that might provide such warning include seasonal flooding, a transportation accident resulting in a threat of a release of hazardous material (HAZMAT) or a threat of a terrorist incident.

� Unanticipated Threats and Emergencies (No Warning) During Non-Business Hours: Incidents may not be preceded by warning, e.g., earthquakes, arson, HAZMAT, or terrorist incidents, and may occur while a majority of the on-site staff is not at work. In these circumstances, while operations from the primary facilities may be impossible, the majority of our employees shall still be able to respond to instructions, including the requirement to relocate following proper notification.

� Unanticipated Threats and Emergencies (No Warning) During Business

Hours: Incidents may also occur with no warning during normal office hours. In these circumstances, execution of the COOP, if indicated by the circumstances of the event, would begin with implementation of building evacuation and safe assembly procedures, continuing through to notification of the COOP Team.

C. COOP Team

In the event of activation or partial activation of the COOP, a COOP response team has been identified and organized according to federal NIMS/ICS guidelines (Form A, COOP Response Team, in the Appendix). To staff the COOP teams, Nor-Cal EMS has identified key positions to provide management and technical expertise necessary to establish essential functions within 12 hours after the emergency event, and these are identified in Form C, Personnel Contact List (Rapid Recall List) located in the Appendix.

D. Time-phased COOP Implementation

When confronting events which disrupt the normal operations of the agency, Nor-Cal EMS shall implement its COOP utilizing the following time- phased approach.

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A brief description of Nor-Cal EMS’s approach to each phase of activation is provided below.

• Phase 1: Activation and Relocation

a. Alert and Notification: The agency has established specific procedures to alert and notify the CEO and Board Chair, senior management staff, and employees that COOP activation is imminent. The agency will use the Personnel Contact List (Rapid Recall List).

b. Initial Actions: The agency has identified specific actions to be taken to terminate primary operations and activate the COOP team, communication links, and the alternate facility. Employee safety is paramount, ensuring calm and organized evacuation during business hours.

c. Activation Procedures Business Hours: The agency has

established procedures for an efficient and complete transition of direction and control from the primary facility to the alternate facility,

Phase Time Frame

Activity

Phase I- Activation and Relocation

0-12 Hours

� Notify alternate facility owner/manager of impending activation and relocation requirements.

� Notify affected local, regional and state agencies. � Activate plans to transfer to alternate facility. � Instruct advance team to ready alternate facility. � Notify agency employees and contractors regarding

activation of COOP and their status. � Assemble documents and equipment required for

essential functions at alternate facility. � Order needed equipment/supplies. � Transport documents, equipment and designated

communications. � Secure original facility. � Continue essential functions at regular facility, if

available, until alternate facility is ready. � Advise alternate facility on status. � Activate advance, operations, and support teams,

as necessary. Phase II- Alternate Facility/Work Site Operations

12 Hours to Termination of Emergency

� Provide guidance to contingency team personnel and information to the public.

� Identify replacements for missing personnel (delegation of authority and orders of succession).

� Commence full execution of operations supporting essential functions at the alternate facility.

Phase III- Reconstitution

Termination of Emergency

� Inform all personnel that the threat no longer exists. � Supervise return to normal operating facility. � Conduct a review of COOP execution and

effectiveness. Update COOP to correct deficiencies and/or incorporate best practices.

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which includes security measures for both sites. These procedures complement the agency’s evacuation plans and emergency response plans. The agency will contact the building owner to ensure adequate security in the event that building integrity has been compromised.

d. Activation Procedures Non-Business Hours: Procedures for the notification of key staff when not at the primary site have been developed. Key staff will have access to the Personnel Contact List as well as important documents.

e. Deployment and Departure Procedures (Time-Phased Operations): Allowances have been made for partial pre-deployment of any essential functions that are critical to operations; determination will be based on the level of threat.

f. Transition to Alternate Operations: The agency has established

minimum standards for communication, direction, and control that is to be maintained until the alternate facility is operational.

g. Site-Support Responsibilities: The agency has developed a

checklist to guide activation of the alternate facility.

• Phase 2: Alternate Operations

a. Operational Hours: During activation of the COOP, Nor-Cal EMS’s operating hours will be between 10:00 am to 2:00pm. As essential functions are provided and additional services come on line, these hours will be extended.

b. Execution of Essential Functions: The agency will perform any functions determined to be essential to operations from the alternate facility using temporary work orders or procedures.

c. Establishment of Communications: The agency will re-establish

normal lines of communication within the agency, to other agencies, and to the public.

d. Support and Contingency Team Responsibilities: Responsibilities will be assigned to personnel to perform essential functions.

e. Augmentation of Staff: As the situation comes under control,

additional staff will be activated to provide other services and functions, as necessary.

f. Amplification of Guidance to Support the Contingency Teams: Additional guidance will be provided to all personnel in regards to duration of alternate operations and include pertinent information on payroll, time and attendance, duty assignments, etc.

g. Development of Plans and Schedules for Reconstitution and

Termination: As soon as feasible, preparation for transferring

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operations of communication, vital records, databases and other activities back to the primary facility will begin. Circumstances may dictate that a new primary facility is designated and subsequently occupied.

• Phase 3: Reconstitution

a. Reconstitution Process: The agency will develop general guidelines

and policies for ending alternate operations and returning to a non-emergency status at the designated primary facility.

b. Reconstitution Procedures: The agency will establish specific

actions to ensure a timely and efficient transition of communications, vital records and databases to the primary facility.

c. After-Action Review and Remedial Action Plans: The agency will develop a task force to assess all phases and elements of the alternate operations and provide specific solutions to correct any areas of concern.

E. Notification and Alert

Nor-Cal EMS recognizes that the COOP should be able to be activated under all conditions:

• With Warning: It is expected that, in many cases, Nor-Cal EMS will receive a warning of at least a few hours prior to an event. This will normally enable the full execution of the COOP with a complete and orderly alert, notification, and deployment of key personnel to an assembly site or pre-identified deployment location. Notification will occur through beeper/pager, email and telephonic methods using standard procedures developed by the agency.

• Without Warning: The ability to execute the COOP following an event that occurs with little or no warning will depend on the severity of the emergency and the number of personnel that survive.

a. Non-Business Hours. COOP team personnel will be alerted and activated to support operations for the duration of the emergency. Notification will occur through beeper/pager and telephonic means.

b. Business Hours. If possible, the COOP will be activated and available members of the COOP teams will be deployed as directed to support operations for the duration of the emergency. Depending on the status of communications, notification will be made by beeper/pager, telephone, in-person at facilities, and using designated call down procedures

F. Delegations of Authority and Orders of Succession

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In the event that executive leadership, senior management or senior technical

personnel are unavailable during an emergency, Nor-Cal EMS has developed a

set of procedures to govern both orders of succession and delegations of

authority.

• Authorities have been identified for delegation in support of policy determinations and executive decisions. All such delegations specify what the authority covers, what limits may be placed upon exercising it, which (by title) will have the authority, and under what circumstances. See form D below.

• Authorized successors have been identified for key management and technical positions within the agency. See form E below

6. RESPONSIBLITIES AND PROCEDURES

A. Responsibilities

The purpose of this section is to identify key positions within the agency and their

responsibilities in the event of an emergency requiring COOP activation. This is

additional detail to that found in Form A, COOP Response Team. Agencies

should collapse or expand the information in this section as appropriate.

The following lists identify major responsibilities of key and designated officials

required to implement the Nor-Cal EMS COOP.

The CEO is responsible for:

� Initiation of the COOP � Notification of key positions within the agency � Making financial decisions related to activation of the COOP and the

opening the alternate facility

The COOP Coordinator is responsible for:

� Updating the COOP on an annual basis � Employee training and education � Ensuring drive away kits are maintained and updated

Members of the Reconstitution Team are responsible for:

� Ensuring employee and public safety � Working with the building owner to maintain the facility in operating order � Notification of employees and stakeholder that Reconstitution is in

progress � Completion of the Reconstitution Checklist

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B. Procedures

Nor-Cal EMS has developed specialized lists of responsibilities by unit based on its unique organizational structure. Responsibilities are presented in checklist format for those key personnel that shall:

• manage the activation of the COOP;

• oversee implementation of emergency response procedures to ensure the safety of employees, contractors, customers and the general public;

• activate alternate facilities and supporting communications and information technology systems;

• support legal activities on behalf of the agency;

• provide public information;

• perform situation assessment for the agency infrastructure;

• perform inspection and repair;

• develop temporary service plans;

• lead the recovery transition; and

The following table indicates where checklists and procedures supporting key COOP activities can be located within the agency.

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Checklist/Procedure Location Building Evacuation Plan Procedure for employee advisories, alerts and instructions

Roster of fully equipped and trained personnel Personnel accountability procedure Implementation of order of successions in emergency situations

Alert and notification checklists and/or procedures

Initial actions checklists and/or procedures Activation during business hours checklists and/or procedures

Activation during non-business hours checklists and/or procedures

Deployment and departure (transition to alternate facility) checklists and/or procedures

Pre-positioned resources and drive away kits Activation of alternate facility checklists and/or procedures

Re-establishment of communications checklists and/or procedures

Vital record and databases contingency checklist and/or procedures

Protection and safeguarding of vital record and databases

Vital equipment and systems contingency checklist and/or procedures

Resource acquisition checklists and/or procedures

Execution of essential functions checklists and/or procedures

Support and contingency team checklists and/or procedures

Family Support and Preparedness Plan (including the recovery of children from daycare facility or from remote evacuation site)

Devolution of command and control Reconstitution and termination checklist and/or procedure

Facility vulnerability assessment Pandemic Influenza Plan

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7. ADMINISTRATION AND LOGISTICS

A. Alternate Facility

Nor-Cal EMS recognizes that normal operations may be disrupted and that there may be a need to perform essential business functions at alternate facilities. Information on requirements for alternate facilities that would be capable of supporting essential business functions is collected on Form F1 Requirements for Alternate Work Site, found in the Appendix. In addition, depending on the emergency conditions, Nor-Cal EMS, through cooperative agreements and mutual aid agreements, also has access to additional facilities that could support essential business functions. The current options for Alternate Work Sites, including any unmet space needs are captured in Form F2, Agency Alternate Facilities located in the Appendix.

B. Vital Records, Equipment and Systems

Nor-Cal EMS has identified vital records, equipment and systems that must be available to support performance of essential functions. These are the records, equipment and systems that will be prioritized for restoration and recovery by the State in the event that a supplier or suppliers need to be contracted. Vital Records are identified in Form G, and Vital Systems, Equipment and Priority are identified in Form H, both of which are found in the associated Appendix.

C. Interoperable Communications

Communications is a critical component of a successful COOP capability. Communication systems must support connectivity to internal organizations, other agencies, critical customers, and the public. To ensure communications during COOP events, Nor-Cal EMS has identified primary and alternate modes of communication, and has preventive controls in place for each means of communication. Communication systems, alternate providers and alternate modes of communications are identified in Form I, Alternative Modes of Communication, and included in the Appendix.

D. Resource Management

Resource management responsibilities include the pre-positioning of vital record and data bases, preferably in an off-site or protected location; pre-positioning of resources at the alternate site; preparation and maintenance of emergency drive-away kits; arranging for travel of key personnel to the alternate facility as well as the transfer of documents and needed communications, data processing and other equipment to the alternate site. Nor-Cal EMS has identified the resource requirements necessary to relocate to the alternate facility and to continue operations on Form J Organizational Go Kit Contents and Maintenance List, located in the Appendix. This list includes basic communications and operational tools required to initiate essential functions from an alternate site, as well as the responsibilities for providing specific resources and the circumstance under which this responsibility may shift. Unspecified

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resource requests or procurements shall be handled by the Logistic Chief or designated personnel.

E. Employee Support

If circumstances require, Nor-Cal EMS recognizes that the well being of an employees’ dependants and domestic companion animals are of mutual concern to ensure that employees remains available to support alternate facility operations. Employees must coordinate with their daycare providers to determine when it is appropriate to pick up their child. In some cases, the parent may be able to withdraw their child from the facility immediately. In other cases, the parent should plan to pick up the child from a remote evacuation site, as in the case of a capitol complex evacuation. Employees must determine a prudent course of action in coordination with daycare providers, and management must take this into consideration.

8. COOP MAINTENANCE

Nor-Cal EMS has developed a multi-year strategy that provides staff with a regularly scheduled and integrated testing, training and exercise program to ensure that the agency’s COOP capability remains viable. Testing, training, and exercising is intended to familiarize agency staff members with their roles and responsibilities during an emergency, ensure that systems and equipment are maintained in a constant state of readiness, and validate aspects of the COOP. The Agency’s schedule of tests, training and exercises of COOP capability are reflected in Form K, Training, Testing and Maintenance, found in the Appendix.

The agency multi-year strategy and program management plan is recorded in Form L, COOP Maintenance and found in the Appendix.

9. COOP PLAN CERTIFICATION

To ensure that this plan is realistic and adequately provides for emergency performance of all essential functions, this COOP shall be cross-walked against Federal and State planning guidelines. The COOP Cross-walk, attached as Appendix M, shall be completed and forwarded to management with the request for promulgation of the plan.

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GLOSSARY

This appendix should contain a list of key words, phrases, and acronyms used throughout the COOP and within the COOP community. Each key word, phrase and acronym should be clearly defined.

A. ACTIVATION: When a COOP has been implemented whether in whole or in

part.

B. ADVANCE TEAM: Group of people assigned responsibility for preparing the alternate facility for operations once the activation decision has been made.

C. AFTER-ACTION REPORT (AAR): A narrative report that presents issues found

during an incident and recommendations on how those issues can be resolved. D. ALTERNATE FACILITY: An alternate work site that provides the capability to

perform minimum essential functions until normal operations can be resumed.

E. CONTINGENCY STAFF/TEAM: Personnel of a department or jurisdiction who are designated to report to the alternate facility during COOP implementation to ensure that the department or jurisdiction is able to perform its essential functions.

F. CONTINUITY OF GOVERNMENT (COG): The term COG applies to the

measures taken by a state or local government to continue to perform required functions during and after a severe emergency. COG is a coordinated effort within each branch of the government to continue its minimum critical responsibilities in a catastrophic emergency.

G. CONTINUITY OF OPERATIONS (COOP): An internal effort within individual

components (e.g. – executive, legislative, judicial branches) of a government/public or private agency to assure the capability exists to continue critical component functions across a wide range of potential emergencies, including localized acts of nature, accidents, and technological and/or attack-related emergencies.

H. COOP EVENT: Any event that causes a department or jurisdiction to activate all

or part of its COOP. It may or may not include relocation to an alternate site to assure continuance of essential functions.

I. COOP RESPONSE AND RECOVERY TEAM: Individuals, identified by position,

within a state department or local jurisdiction that are responsible for ensuring that essential functions are performed in an emergency and taking action to facilitate that performance, and to initiate planning necessary for the resumption of non-emergency operations at a primary facility.

J. CRITICAL CUSTOMERS: Organizations or individuals for which a state

department of local jurisdiction performs mission-essential functions. K. CRITICAL FUNCTIONS: (also Essential Functions) Those functions, stated or

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implied, that state departments and local jurisdictions are required to be performed by statute, regulation or executive order or are otherwise necessary to provide vital services, exercise civil authority, maintain the safety and well being of the general populace, and sustain the industrial and economical base in an emergency.

L. CRITICAL OPERATIONS: Those operations, stated or implied, that are required

to be performed by statute or executive order or are otherwise deemed necessary.

M. CRITICAL COOP PERSONNEL: Staff of a department or jurisdiction that are

needed for the performance of the organization’s essential functions.

N. DELEGATED AUTHORITY: An official mandate calling on an individual holding a specific position to assume responsibilities and authorities not normally associated with that position when specified conditions are met.

O. DEVOLUTION: The capability to transfer statutory authority and responsibility for

essential functions from a department’s or jurisdictions primary staff to other employees and facilities, and sustain that operational capability for an extended period of time.

P. DRIVE-AWAY KIT: An easily transported set of materials, technology and vital

records that shall be required to establish and maintain minimum critical operations. Also referred to as a go-kit or fly-away kit.

Q. EMERGENCY: A sudden, usually unexpected event that does or could do harm

to people, resources, property, or the environment. Emergencies can range from localized events that affect a single office in a building, to human, natural or technological events that damage, or threaten to damage, local operations. An emergency could cause the temporary evacuation of personnel or the permanent displacement of personnel and equipment from the site to a new operating location environment.

R. EMERGENCY OPERATIONS RECORDS: Records that support the execution of

the organization’s essential functions.

S. INCIDENT ACTION PLAN (IAP): An oral or written plan containing general objectives reflecting the overall strategy for managing an incident. It may include the identification of operational resources and assignments. It may also include attachments that provide direction and important information for management of the incident during one or more operational periods.

T. INCIDENT COMMAND SYSTEM (ICS): A standardized on-scene emergency

management construct specifically designed to provide for the adoption of integrated organizational structure that reflects the complexity and demands of single or multiple incidents, without being hindered by jurisdictional boundaries. ICS is a combination of facilities, equipment, personnel, procedures, and communications operating with a common organizational structure, designed to aid in the management of resources during incidents.

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U. INCIDENT COMMANDER (IC): The individual responsible for all incident activities, including the development of strategies and tactics and the ordering and releasing of resources. The IC has overall authority and responsibility for conducting incident operations and is responsible for the management of all incident management operations.

V. INTEROPERABLE COMMUNICATIONS: Alternate communications that

provides the capability to perform minimum essential functions, in conjunction with other agencies, until normal operations can be resumed.

W. LEGAL AND FINANCIAL RECORDS: Records that are needed to protect the

legal and financial rights of government and of the people affected by its actions.

X. LOGISTICS SECTION: The section responsible for providing facilities, services and material support of an incident.

Y. MANAGEMENT PLAN: An operational guide that ensures the implementation,

maintenance and continued viability of the COOP.

Z. MISSION CRITICAL FUNCTIONS: See Critical Functions.

AA. MITIGATION: Any sustained action taken to reduce or eliminate the long-term risk to life and property from a hazard event.

BB. NATIONAL INCIDENT MANAGEMENT SYSTEM: A system mandated by

Homeland Security Presidential Directive #5 (HSPD-5) that provides for a consistent national approach for Federal, state, local and tribal governments; the private-sector, and non-governmental organizations to work effectively and efficiently together to prepare for, respond to, and recover from domestics incidents, regardless of cause size or complexity.

CC. NON-CRITICAL PERSONNEL: Staff of a department or jurisdiction who are not

required for the performance of an organization’s mission essential functions.

DD. OPERATIONS SECTION: The section responsible for all tactical incident operations. In ICS, it normally includes subordinate branches, divisions and groups.

EE. ORDERS OF SUCCESSIONS: Provisions for the assumption of senior

department and jurisdictional offices and other positions held by critical COOP personnel when the original holder of those responsibilities and/or authorities is unable or unavailable to execute their duties.

FF. PLAN MAINTENANCE: Steps taken to ensure the plan is reviewed annually and

updated whenever major changes occur.

GG. PLANNING SECTION: Responsible for the collection, evaluation and dissemination of operational information related to the incident, and for the preparation and documentation of the IAP. This section also maintains

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information on the current and forecasted situation and on the status of resources assigned to an incident.

HH. PRIMARY FACILITY: The site of normal, day-to-day operations; the location

where the employee usually goes to work.

II. RECONSITUTION: The resumption of non-emergency operations at a primary facility following emergency operations at an alternate facility.

JJ. SITUATION REPORT (SITREP): A written, formatted report that provides a

picture of the response activities during a designated reporting period. KK. VITAL RECORDS: Electronic and hardcopy documents, references and records

needed to support essential functions during a COOP event, to recover full operations following an emergency, and to protect the legal rights and interests of citizens and government. The two basis categories of vital records are emergency operating records (e.g. plans and directives, orders of succession, delegations of authorities and staffing assignments) and rights and interests records.

LL. VITAL EQUIPMENT AND SYSTEMS: Equipment and systems that are needed

to support essential functions during a COOP event.

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FORM A: COOP Response team

AUTHORITY TO IMPLEMENT COOP

Key Executive Title/Position Office Phone # Alternate Phone email

Dan Spiess CEO 530-229-3979 dspiess@norcalems.org

Team Members Team Responsibilities

Command Dan Spiess Notification to staff and board or

COOP implementation

Planning Patti Lima

Under direction of the CEO,

implement the COOP and begin check

list

Operations Kara Davis Provide guidance to providers seeking

assistance

Logistics Bill Bogenrief Evaluate the impact of COOP

implementation on IT services

Finance/

Administration Donna Stone

Prepare financial report to include

potential expenses related to COOP

activation

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FORM B: Prioritized Listing of Essential Functions

Essential Functions Recovery Time Objective (in

hours) (RTO) Priority

Altered Standards of Care 0-3 1

Provider Direction/Guidance 0-3 2

Protocol Development 12 3

Certifications 96 4

Protocol Enforcement 96+ 5

Investigations 96+ 6

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FORM C: Personnel Contact List (Rapid Recall List)

The Personnel Contact List is a short document with a cascade call list and other critical phone numbers.

The cascade list should include COOP team members, key personnel, organization management and

board personnel. The Point of Contact (POC) will activate the list and initiate the first contact with the

organization head and COOP team. Information in this document should not be shared outside the

organization to protect the privacy of those listed.

Employee Cascade List Email Address Work # Home # Cell/Pager #

Dan Spiess dspiess@norcalems.org 530-229-3979

Donna Stone dstone@norcalems.org 530-229-3979

Kara Davis kdavis@norcalems.org 530-229-3979

Patti Lima plima@norcalems.org 530-229-3979

Kathy Van Donge kvandonge@norcalems.ORG 530-229-3979

Bill Bogenreif bbogenreif@norcalems.org 530-229-3979

Eric Rudnick erudnick@norcalems.org 530-229-3979

Board Personnel Phone Number(s)

Denny Bungarz

Lee Brown

Patricia Cantrall

Monica Derner

Mike Murray

Bill Nunes

Wendy Otto

Bob Pyle

Terry Swofford

Steve Tolen

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FORM D: Delegation of Authority

In developing this list, the agency can review its pre-delegated authorities for making policy

determinations and decisions at headquarters, field levels, and other organizational locations as

appropriate.

Authority Position Title Holding

Authority Triggering Considerations Limitations of Authority

Administrative CEO COOP implimentation BOD approval for large

financial decisions

Administrative Director of Business

Administration COOP implimentation

As directed by the

CEO/BOD

Clinical EMS System Director COOP implimentation As directed by the

CEO/Medical Director

Administrative Secretary COOP implimentaion

As directed by the

Director of Business

Administration/CEO

Administrative Project Coordinator COOP implimentation As direced by the CEO

Administrative Director of Information

Technology COOP implimentation As direced by the CEO

Clinical Medical Director COOP implimentation

California Health and

Safety Code, Division

2.5, Chapter 1 through

11, Sections 1797 et

seq., the California

Code of Regulations,

Title 22, Social Security,

Division 9, Chapters 1

through 12, Section

100000 et seq., and

other clinical related

agency activities.

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FORM E: Orders of Succession

List orders of succession to key positions critical to the agency’s COOP. Based on previous experience,

whenever possible, agencies may choose to investigate options that enable key successors to be

geographically dispersed to ensure that succession to office can occur during any type of emergency.

Remember orders of succession should run at least THREE DEEP.

Key Executive 1

st Successor

Name/Position

2d Successor

Name/Position

3d Successor

Name/Position

Dan Spiess Donna Stone Eric Rudnick Kara Davis

Donna Stone Kathy Van Donge Patti Lima Dan Spiess

Eric Rudnick Dan Spiess Patti Lima Kara Davis

Kara Davis Eric Rudnick Dan Spiess

Bill Bogenrief Outside Contractor

Patti Lima Kathy Van Donge Donna Stone

Kathy Van Donge Patti Lima Donna Stone